Safeguarding in International Development Research

Practical application of UKCDR Safeguarding Guidance during COVID-19

Introduction
ll Unscrupulous actors may seize the opportunity to commit abuse or
The world’s attention is focused on the threat and impact of the COVID-19
perpetrate harm during a time of lowered scrutiny and drastically reduced
pandemic, and researchers are at the forefront of the response. At the same
or overburdened public services. For example, emerging evidence from
time, many institutions have suspended non-COVID-related domestic and
the international development sector strongly points to increases in
international research activities, in light of the potential hazards to both
domestic violence, sexual exploitation and sexual violence against women
researchers and participants and the effects of political/social restrictions
and girls during the COVID-19 pandemic2, as well as heightened risk to
such as lockdowns, curfews and physical distancing.
children of neglect, abuse and exploitation.3
Safeguarding – the responsibility to anticipate, mitigate and address harm
ll While certain safeguarding risks may appear temporarily reduced by
– remains an essential function for all those involved in the international
restrictions on movement, closure of workplaces, etc., harm and abuse will
development research chain, whatever the focus of their research. The UK
manifest themselves in other ways, and specific new risks can arise as a
Collaborative on Development Research (UKCDR) define safeguarding in the
result of the pandemic.
research context as preventing and addressing “any sexual exploitation,
abuse or harassment of research participants, communities and research
ll Researchers may be inclined to undertake more risky actions during
staff, plus any broader forms of violence, exploitation and abuse… such as
a widespread crisis, because risks are perceived as being everywhere –
bullying, psychological abuse and physical violence.”
individuals’ ‘risk line’ or definition of what constitutes acceptable risk can
shift.
Safeguarding in international development research takes on added
significance during the COVID-19 crisis, for a number of reasons:
ll Research may have to be undertaken rapidly in emergency situations,
with pressure to allow perceived urgency to override normal steps to
ll During emergencies, people and organisations can forget or overlook the
anticipate potential harms, take action to mitigate harm and put in place
importance of safeguarding in the face of immediate survival needs.
or strengthen appropriate processes to address it.
ll Many institutions’ normal governance and oversight processes, including
ll Ability to carry out basic institutional functions, including the ongoing
those for reporting or investigating safeguarding concerns, are delayed
responsibilities of research funders/institutions to discharge their duty of
or severely disrupted; whistle-blowers may be ignored or even suffer
care in relation to their staff, grant-holders and research teams, may be
retaliation.1
compromised, and additional risks overlooked.
Why has this additional guidance been produced and
who is it for?
Please note that the UKCDR’s main Guidance on Safeguarding in
International Development Research contains rigorous and comprehensive
role-specific advice on safeguarding in international development research,
with clearly targeted sections for research funders, heads of research
institutions, university vice-chancellors, ethics committees, research
managers and administrators, human resources, legal and finance teams,
individual researchers, research participants and communities.

The purpose of this additional ‘companion piece’ is to underline the

importance of safeguarding in research in the context of COVID-19,
highlight specific issues to consider during the current crisis and signpost
additional useful resources. The core values and ethical principles that
underpin safeguarding, research integrity and equitable partnerships
should continue to drive our approach to research during the pandemic:
“It is profoundly unethical for people to be approached to take part in
research (however potentially valuable) if their own basic healthcare needs
are not being addressed as part of the response effort. While researchers
cannot themselves be directly responsible for meeting such needs, they
must be confident that they know how to refer on to those who are (and that
those services are in place). Equal respect also reminds us of the importance
of the welfare of front-line research and healthcare workers themselves, and
the responsibilities of their employers and funders to make sure that their
NOTES
1 Transparency international (2020) ‘Governments and corporations need to guarantee safety
of COVID-19 whistleblowers’, press release, 6 April. Available at: https://www.transparency.
org/news/pressrelease/governments_corporations_guarantee_safety_of_covid_19_
whistleblowers
2 UK Aid Direct (2020) ‘Impact of COVID-19 Pandemic on Violence against Women and
Girls’, VAWG Helpdesk Research Report, No. 284. Available at: http://www.sddirect.org.uk/
media/1881/vawg-helpdesk-284-covid-19-and-vawg.pdf
3 UNICEF (2020) ‘COVID-19: Children at heightened risk of abuse, neglect, exploitation and
violence amidst intensifying containment measures’, press release, 20 March. Available at:
https://www.unicef.org/press-releases/covid-19-children-heightened-risk-abuse-neglect-
exploitation-and-violence-amidst

needs are not overlooked.” 4
The considerations below will be most relevant to those funding research,
those managing research grants and those undertaking research. While this
companion piece largely targets these three groups, there is greater detail
in the full guidance for all stakeholder groups involved in research (as listed
above). This document is a supplement to – not a replacement for – the
advice in the main Guidance, which remains valid and relevant in the face of
COVID-19.5
4 Wright, K (2020) ‘COVID-19 and the ethical imperative of preparedness’, Nuffield Council of
Bioethics, blog, 24 February. Available at: https://www.nuffieldbioethics.org/blog/covid-19-
and-the-ethical-imperative-of-preparedness
5 Note that the main Guidance was produced through a process of wide-ranging international
consultation via online survey, in-depth interviews in three regional hubs (Latin America
and the Caribbean, West Africa and South Asia) and workshops in the UK, Ghana, Kenya and
Tanzania. COVID-19 became a pandemic shortly after those consultations concluded. While
consultees have not directly contributed views on safeguarding during the pandemic, this
companion piece builds on the rich earlier data.
What additional safeguarding issues do we need to consider in the
current outbreak?
Rights of victims/survivors and whistle-
blowers
ll What measures are we taking to identify specific additional
safeguarding risks in our current (whether active or suspended)
or planned research in the context of COVID-19, and to ensure
the resilience and effectiveness of our reporting/investigation/
disciplinary procedures?
ll How are we protecting the rights of participants in COVID-specific
research, e.g. the right to compensation for time/loss of earnings and
the right to know where and how to access health care?
ll How are we ensuring meaningful, fully informed and freely given
consent (especially when under pressure to produce rapid results)?
Are we avoiding undue inducement in any compensation we offer for
participation in research? Do our existing consent procedures need
to be revisited and possibly revised in the context of COVID-19?
ll How are we ensuring support in relation to the anticipated rise in
mental health issues / intimate partner violence affecting research
staff and students working from home, in self-isolation, under
quarantine or lockdown?
ll How are we helping staff and students who are away from home and
may be finding it difficult to return, to access health care where they
are working?
ll In countries where authoritarianism is increasing as a result of
enforcement of COVID-19 requirements, how are we protecting the
safety of researchers, field workers, data collectors and research
participants and ensuring they are not being placed at higher risk
of physical violence? (e.g. if field workers/researchers are expected to
work late, or research participants are involved in studies until later in
the day, they may miss curfew and be subject to police brutality)
Safeguarding in International Development Research: Practical Application of Guidance during COVID-19
Equity and fairness
ll How are we ensuring that all research partners and participants are
receiving accurate, up-to-date information about COVID-19 relevant to
their project and country, so that they are not placing themselves or
others at unnecessary risk when undertaking research?
ll Have we taken into account individuals or groups with particular
characteristics who risk being affected disproportionately by any
changes made to research during this period? (e.g. additional costs
or absence of income arising from pausing/freezing research, which
may exacerbate their risk or vulnerability to sexual exploitation, abuse,
harassment, bullying, psychological abuse, physical violence)
ll What support are we offering, particularly for those researchers in
more precarious employment situations – such as temporary staff,
sub-contractors, students – and/or with less access to credit or a social
safety net, who may be more vulnerable to exploitation? (e.g. processing
payments quickly, extending contracts, extending deadlines for
research outputs)
ll What support or alternatives are we offering for those researchers
whose access to workspace, equipment, reliable electricity supply,
internet, etc. at home may be limited, so that they can continue to work
but do so safely?
ll How are we ensuring that myths about transmission and infection
(e.g. ‘Chinese virus’, Black people/young/poor/street children having
immunity, etc.) do not influence research decisions or practice? What
are we doing to prevent and address increased racial harassment of
researchers/participants in relation to these myths?
3
 Transparency
ll Are we specifically acknowledging, and consulting partners
about, the actual and potential impact of COVID-19 on existing
vulnerabilities and risks in the communities where we fund, manage
or conduct research?
ll What advice and support are we offering on how research can be
modified to reduce transmission risk and prevent harm to those
undertaking and involved in research, e.g. shifting from face-to-face
data collection to remote methods via phone/ Skype/Zoom or online
survey etc?
ll How are we communicating what research is still continuing, in what
form and with what potential financial implications (if modified from
the original research plan) to provide financial transparency and
avoid financial exploitation?
ll Are we taking into account the different timing, trajectories and
impacts of COVID-19 in different countries, so that we are not putting
researchers or participants at risk in terms of unrealistic expectations
about the resumption of research activities?
ll How can we ensure that staff and students can still access advice
and support on safeguarding concerns? Are there clear routes for
contacting safeguarding focal points or alternative appropriate
trained contacts if the primary contact is not available?
ll In the countries where we work, how will we identify and manage
any changes to referral points or support mechanisms as a result of
COVID-19? With the suspension or closure of many services, if there
is nowhere to signpost people to, what is our plan for how to support
victims/survivors?
Safeguarding in International Development Research: Practical Application of Guidance during COVID-19
Accountability and governance
ll How readily are we facilitating no-cost extensions (or in the case of
fixed ongoing costs, costed extensions) to research that has been
disrupted or suspended?
ll To what extent are we covering unanticipated costs (e.g. cancelled
flights, or increased food and lodging costs for researchers stranded
away from home) to prevent the risk of harassment or exploitation?
What criteria are we using for these decisions, and are they fair and
transparent?
ll How are we ensuring that processes are/remain in place to deal with
any safeguarding breaches during the current disruption?
ll How are we protecting participants’ data, confidentiality etc. if
data collection methods are being changed and/or researchers are
working remotely with less secure networks or software?
ll How have we prepared or modified our ethical approval processes for
assessing proposed research at this time, ensuring that safeguarding
risks are still adequately considered?
ll What additional resources might be required to manage
safeguarding risks in the context of COVID-19?
4
Useful resources
CharitySoWhite (2020) ‘Racial injustice
in the COVID-19 response’, Live
position paper. Available at: https://
charitysowhite.org/covid19
Contextual Safeguarding Network
(March 2020) ‘Safeguarding,
adolescents and Coronavirus –
Contextual Safeguarding during
lockdown’. Available at: https://www.
csnetwork.org.uk/en/safeguarding-
adolescents-and-coronavirus-
contextual-safeguarding-during-
lockdown
Gender and COVID-19 Working
Group. COVID-19 and Gender
Resources and Articles – public
Google drive. https://docs.google.com/
document/d/1_QfLS6Z90w_1rPM-jdeKC_
lQXTcwA8Z4kF8Z5CerZrk/edit
Interagency Standing Committee
(March 2020) Interim Technical Note:
Protection from Sexual Exploitation
and Abuse (PSEA) during COVID-19
Response. Available at: https://
interagencystandingcommittee.
org/system/files/2020-03/IASC%20
Interim%20Guidance%20on%20
COVID-19%20-%20Protection%20
from%20Sexual%20Exploitation%20
and%20Abuse.pdf
International Centre for Missing
& Exploited Children (2020) ‘Child
Protection During COVID-19 Response’.
Webpage with updates, guidance and
resources. Available at: https://www.
icmec.org/child-protection-during-
covid-19-response/
Liverpool School of Tropical Medicine
and ARISE (Accountability in Urban
Health Hub): Practical advice on
COVID-19 for people in informal
settlements. Video dialogue between
Prof Sally Theobald and Dr Tom
Wingfield, COVID-19 expert in Liverpool,
drawing on questions from Slum/
Shack Dwellers International and ARISE
Hub members. Full film (22 minutes)
available at http://bit.ly/ARISE-HUB-
COVID-19, or divided into individual
topics such as below:
ll What is COVID-19? Are there people
who are more vulnerable? (4:21)
https://youtu.be/PFMPuc_Ho8Q
ll Prevention measures? Treatment at
home? Low-cost measures? (8:45)
https://youtu.be/Hf8SRM7_tRc
ll Reliable sources of information on
COVID-19? (3:47) https://youtu.be/
c8gFMyeuknU
ll How to maintain good mental
health in the face of COVID-19?
(5:34) https://youtu.be/DD8zIduKnn8
LVCT Health in Kenya (ARISE partner).
Coronavirus – COVID 19: Kenya Sign
Language. A public information film
on COVID-19 for the deaf community
in Kenya; also creating a twitter chat
to support action and partnership on
disability.
Mbuagbaw, L (2017) ‘Considerations and
guidance in designing equity-relevant
clinical trials’, International Journal
for Equity in Health, 16:93. Available UK Aid Direct (2020) ‘Impact of
at: https://www.ncbi.nlm.nih.gov/pmc/ COVID-19 Pandemic on Violence
articles/PMC5460332/ against Women and Girls’, VAWG
Helpdesk Research Report, No. 284.
Available at: http://www.sddirect.org.uk/
Nature Medicine (2020) ‘Safeguard
media/1881/vawg-helpdesk-284-covid-
research in the time of COVID-19’,
19-and-vawg.pdf
Editorial. Available at: https://www.
nature.com/articles/s41591-020-0852-1
UNICEF (2020) Protection of children
during the coronavirus disease
New Philanthropy Capital (2020) ‘How
(COVID-19) pandemic: Technical note.
philanthropists should respond to
Available at: https://www.unicef.org/
coronavirus: Consequences, crises and
documents/technical-note-protection-
opportunities for charities’. Available at:
children-coronavirus-disease-2019-
https://www.thinknpc.org/resource-hub/
covid-19-pandemic
coronavirus-guide/
University of Oxford Research Support
Nuffield Council of Bioethics (2020)
(2020) ‘COVID-19 funding and project
Rapid policy briefing: Ethical
considerations in responding to the
management guidance: Guidance from
research funders, Research Services and
COVID-19 pandemic. Available at:
Research Accounts about the impact of
https://www.nuffieldbioethics.org/
coronavirus.’ Webpage being regularly
publications/covid-19/covid-19-ethics-
resources
updated with policies and measures
being put in place by research funders.
Available at: https://researchsupport.
Social Development Direct (2020) GBV admin.ox.ac.uk/covid-19#widget-
Case Management and the COVID-19 id-1912076
Pandemic. Available at: http://www.
sddirect.org.uk/media/1882/guidance-
WHO Working Group on Ethics &
on-gbv-case-management-in-the-face-
COVID-19 (2020) Ethical standards
of-covid-19-outbreak-final-draft.pdf;
for research during public health
also available in Arabic and Spanish at:
emergencies: Distilling existing
http://www.sddirect.org.uk/our-work/
guidance to support COVID-19 R&D.
gbv-in-emergencies-helpdesk/
Available at: https://www.who.int/
blueprint/priority-diseases/key-action/
Social Science in Humanitarian Action liverecovery-save-of-ethical-standards-
et al. Key Considerations: COVID-19 for-research-during-public-health-
in Informal Urban Settlements emergencies.pdf?ua=1
(March 2020) brief https://www.
socialscienceinaction.org/resources/key-
considerations-covid-19-informal-urban-
settlements-march-2020/
Authors

Linnea Renton MPH, with Professor Alex Balch and Dr Leona Vaughn –
University of Liverpool

About UKCDR Guidance on Safeguarding in

International Development Research Get in
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This companion piece was commissioned and produced by the UK
Collaborative on Development Research (UKCDR) to accompany Guidance UKCDR
for Safeguarding in International Development Research. c/o Wellcome Trust
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principles and best practice guidance on safeguarding to anticipate, mitigate London
and address potential and actual harms in the funding, design, delivery and NW1 2BE
dissemination of research. This guidance is needed to ensure the highest UK
safeguarding standards in the context of international development research,
which presents specific situations in which harms that can occur are different t: +44 (0)20 7611 8327
to international development more broadly. @UKCDR
info@ukcdr.org.uk
The guidance and other safeguarding resources are available here:
https://www.ukcdr.org.uk/guidance/safeguarding-resources/ ukcdr.org.uk